Former securities rep charged
Ontario woman accused of forging NRD employment record to hide dismissal from firm
- By: James Langton
- November 25, 2013 December 19, 2017
- 16:25
Latest news in From the Regulators
IIROC finalizes guidance on trade confirmations
Dealers allowed to use the same disclosure on all trade confirmations
- By: James Langton
- November 25, 2013 December 19, 2017
- 14:25
OSFI focused on banks’ mortgage lending
Regulator aims to ensure that banks follow prudent mortgage lending practices
- By: James Langton
- November 25, 2013 December 19, 2017
- 13:50
FCA proposes new guidance on dealing commissions
Proposals are intended to ensure that the commissions investment managers pay for executing trades are fairer and more transparent
- By: James Langton
- November 25, 2013 December 19, 2017
- 10:25
NASAA supports fiduciary standard for broker-dealers
Many U.S. investors confused about which type of financial professional to retain
- By: James Langton
- November 22, 2013 December 19, 2017
- 15:00
HFT and volatility: questions remain
IIROC shares results from third phase of study on high frequency trading
- By: Fiona Collie
- November 21, 2013 December 19, 2017
- 16:45
TD Waterhouse cleared to use Fund Facts
The CSA has encouraged dealers to file applications to allow the early use of Fund Facts disclosure
- By: James Langton
- November 21, 2013 December 19, 2017
- 15:50
CSA proposes new prospectus exemption
Exemption would give venture firms easier access to capital, and investors a cheaper way to acquire additional securities
- By: James Langton
- November 21, 2013 December 19, 2017
- 14:40
OSC reminds firms to file exempt market reports on time
These reports are the regulator’s primary source of information about exempt market activity
- By: James Langton
- November 21, 2013 December 19, 2017
- 14:30
Greater concentration, innovation pose challenges for market regulators
Increased competition and technology are drivers for exchange concentration, says OSC chairman
- By: Fiona Collie
- November 21, 2013 December 19, 2017
- 14:00
FSB strengthens risk management supervision
Feedback on proposed guidance due Jan. 31
- By: James Langton
- November 18, 2013 December 19, 2017
- 14:40
MF Global to pay US$1.21 billion restitution to customers
Judge imposes US$100 million penalty following CFTC complaint
- By: James Langton
- November 18, 2013 December 19, 2017
- 14:15
CFTC aligns SIDCO rules with international standards
Derivatives clearing firms can continue to qualify as central counterparties
- By: James Langton
- November 15, 2013 December 19, 2017
- 16:30
Systematech pair sanctioned by OSC for illegal distributions
April Vuong and Hao also face criminal charges
- By: James Langton
- November 15, 2013 December 19, 2017
- 12:40
Exempt market dealer suspended
League Investment Services has filed for creditor protection in B.C.
- By: James Langton
- November 14, 2013 December 19, 2017
- 15:30
CSA electronic filing switchover delayed again
No new date given for transition to new service provider
- By: IE Staff
- November 14, 2013 December 19, 2017
- 14:00
IIROC revises consolidated enforcement rules
Revision aims to clarify proposed negligence standard
- By: James Langton
- November 14, 2013 December 19, 2017
- 12:40
OSC publishes final derivatives rule
New reporting requirements an important milestone for OTC derivatives reform
- By: James Langton
- November 14, 2013 December 19, 2017
- 10:55
MFDA issues warning on syndicated mortgages
Regulator maintains that syndicated mortgages are securities; reps must put this business through their fund dealers
- By: James Langton
- November 13, 2013 December 19, 2017
- 08:50
Obama nominates new CFTC head
Timothy Massad will replace Gary Gensler
- By: James Langton
- November 12, 2013 December 19, 2017
- 16:15
U.S. SROs agree to strengthen market infrastructure
Details of their proposals will be set out in rule filings and amendments subject to SEC approval
- By: James Langton
- November 12, 2013 December 19, 2017
- 11:30
OSFI issues draft revision of MCCSR guideline for life insurers
Comments due by Nov. 22
- By: James Langton
- November 8, 2013 December 19, 2017
- 15:40
Court denies appeal to stay BCSC proceedings
The applicants could pursue their appeal if the BCSC case against them succeeds
- By: James Langton
- November 8, 2013 December 19, 2017
- 12:50
Fraudster sentenced to nine months in jail
Howard Rash sold New Gold partnership units while under a cease trade order
- By: James Langton
- November 8, 2013 December 19, 2017
- 12:00
RCMP charge ex Onco Petroleum officers with fraud
Police allege pair filed a false prospectus, which led investors to lose millions
- By: James Langton
- November 7, 2013 December 19, 2017
- 15:10